UNITED STATES COURT OF APPEALS

FOR THE SECOND CIRCUIT

_________________________________________
United States of America, :
Respondent-Plaintiff, :
:
:
:
: Case No. 07-5222cr (L) (09.11-2)
v. : Case No. 24-1414cr (L)
:
:
Ulysses T. Ware, :
Appellant-Defendant. :
__________________________________________:
Ulysses T. Ware’s August 2, 2024, Supplement #1.0 to his July 31, 2024
(9.11-1), Renewed Brady Disclosure and Production Demand in
Support of Supplemental Declaration (#2.0) for Rule 3(c)(2) Clear and
Convincing Evidence for Probable Cause for the Chief Circuit Judge to
Sua Sponte Appoint the Rule 11(f) Special Committee.
________

Verified Rule 3(c)(2) of the Rules for Judicial Conduct and Judicial Disability
Proceedings Clear and Convincing Evidence: Criminal Judicial Misconduct of
Circuit Judge Robert D. Sack, et al.; (1) Criminal violations of the Code of Conduct
for Federal Judges; (2) Violations of 28 USC 455(a), 455(b)(1); and (3) Numerous
violations of Title 18 USCA—a “pattern of racketeering activities.”
___________

Re: The Court of Appeals (Kearse, Sack, Hall (deceased), Cabranes), District Court
(SDNY) (Pauley, Sweet, Dolinger, Peck, Taylor-Swain, Ramos, McMahon, and
Dawson (D. NV)), Atlanta, GA Bankruptcy Court (Hagenau); and the State Bar of
Georgia, et al. Collusion, Racketeering to Obstruct Justice, Conspiracy, Crimes,
and Frauds with Respect to: (1) the Ongoing Suppression and Concealment of
Jeremy Jones’ Perjury Contracts; and (2) Vindictive, Retaliatory, and Punitive
Sanctions Designed to Professionally Destroy Ulysses T. Ware, Esq. in Retaliation
for Mr. Ware’s Refusal to Issue Fraudulent and Bogus Rule 144(k) Legal Opinions

Page 1 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
to the 02cv2219 (SDNY) Plaintiffs, Unregistered Broker-Dealers, Section 2(a)(11)
Statutory Underwriters, and 15 USC 78p(b) Statutory Insiders of the Issuer,
GPMT.1

Appellant-Defendant Ulysses T. Ware’s Supplemental Memorandum of Law (re: Jeremy

Jones’ Judicial Court Records--Part XII (9.10.2) Ongoing Judicial Conspiracy to Obstruct
Justice and Commit Fraud on the Court by Federal Judges Kearse, Sack, Hall, Ramos,
Pauley, Sweet, Taylor-Swain, DeArcy-Hall, Hagenau, Dawson, McMahon, and Cabranes;
and the State Bar of GA) in Support of the Requested Reliefs Regarding the May 12, 2024,
and June 10, 2024, Rule 27-1 Motion to Recall the Moot August 18, 2009, 07-5222cr
mandate, and (2) The immediate access to all judicial court records used in and/or part of
U.S. v. Ware, 05cr1115 (SDNY) and used in or by this Court to reach its decision in its Moot
August 18, 2009, 07-5222cr mandate, reported at U.S. v. Ware, 577 F.3d 442 (2d Cir.
2009) (Kearse, J.) not later than Friday, May 31, 2024, time of the essence.2
Respectfully Submitted by:

1
Atlanta, GA law firm Kilpatrick, Townsend, & Stockton, LLP and its partners, Dennis S. Meir, John W.
Mills, III, and J. Henry Walker, IV knowingly aided, abetted, enabled, and facilitated a conspiracy to
commit bankruptcy fraud, 18 USC 2, 156-57, 371, 924(c), 1951, 1956-57, 1958-59, 1961(6)(b), and 1962(a-
d), during the In re Group Management Corp., 03-93031 (BC NDGA) Chapter 11 proceedings; and KTS and
its partners knowing, in bad faith, and recklessly lied and committed fraud on GPMT, Mr. Ware, and the
Bankruptcy Court by concealing the fact that its clients, the 02cv2219 (SDNY) plaintiffs, before, during,
and after the time of the Chapter 11 case had never lawfully registered with the SEC or FINRA, or NYS as
15 USC 78o(a)(1) broker-dealers, and therefore, ipso facto, as a matter of law and fact KTS and its client
lacked a lawful claim and thus, lacked Article III standing to have appeared in the Chapter 11 case and
obstructed GPMT’s right to reorganize and recoup +$522 million in illegal Section 16(b) short-swing profits
concealed by KTS’ clients--realized from illegal insider trading in the equity securities of GPMT—that is,
the collection of criminal usury unlawful debts, GX 1, GX 2, GX 3, and GX4, in violation of 18 USC 1961(6)(B)
and Grote, 921 F.3d at 115-17.

2
The August 18, 2009, purported mandate entered in 07-5222(L) (2d Cir.) as a matter of law and fact went
moot on (i) July 14, 2003, upon the SEC-DOJ filing the unsigned complaint filed in the Las Vegas 03-0831
(D. NV) Bootleg Grand Jury Proceeding’s ¶33, which pleaded a binding Article II actual innocent affirmative
defense, judicial admission, which pleaded the United States out of the federal and state courts
(protected by the Double Jeopardy Clause absolute finality) subject to equitable and judicial estoppel—
binding on the United States, the real party in interest in 03-0831 (D. NV), 04cr1224 (SDNY), and 05cr1115
(SDNY), and its agents (The State Bar of Georgia, its agents and employees), proxies, surrogates, and
alter-egos; and (ii) not later than Nov. 7, 2008, went moot upon the Government’s voluntary termination,
abandonment, and dismissal with prejudice of its U.S. v. Ware, 07-5670cr (XAP) (2d Cir.) cross-appeal of
the District Court (Pauley, J.) post-trial Rule 29(c) acquittal verdicts finding the Government’s trial proof
insufficient on “market efficiency” and scheduling a Fatico hearing on the issue after the trial jury was
discharged on April 30, 2007—see 05cr1115 Dkt. 99, S. Tr. 31 L 18-25; S. Tr. 35-36; and S. Tr. 73-76, see
Ex. 11, infra.

Page 2 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
The Office of Ulysses T. Ware
123 Linden Blvd., Ste 9-L
Brooklyn, NY 11226
(718) 844-1260
[email protected]

Date: Filed on Friday, August 2, 2024

/s/ Ulysses T. Ware (Appellant-Defendant)

Page 3 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 SUPPLEMENT #1.0 TO July 9.11-1 BRADY DEMAND

I. Introduction

This memorandum supplements Defendant-Appellant Ulysses T. Ware's demand for the

immediate disclosure and production of all Brady, Giglio, Jencks Act, and Rule 16 materials. This

request is directed at the Government and the district judges involved in the proceedings, as well

as other implicated parties. The egregious suppression of these materials violates the

Government’s obligation under the Brady doctrine and significantly undermines the integrity of

the judiciary.

II. Factual Background

Defendant-Appellant Ulysses T. Ware is appealing his conviction, asserting grave

violations of his constitutional rights due to the Government’s and the District Court’s blatant

disregard for their Brady obligations. Specifically, the Government has failed to comply with two

critical court orders mandating such disclosures: (i) the May 19, 2006 order (Dkt. 17) in United

States v. Ware, 05cr1115 (SDNY) by Judge Pauley (deceased), and (ii) the August 10, 2007 order

(Dkt. 32) in United States v. Ware, 04cr1224 (SDNY) by Judge Sweet (deceased).

Despite multiple requests and formal notices of non-compliance, the Government and

certain district judges have persistently failed to disclose and produce all mandated materials.

This persistent non-compliance severely compromises Mr. Ware's right to a fair trial and due

process.

III. Legal Standards and Arguments

A. Brady Doctrine

Page 4 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 Under Brady v. Maryland, 373 U.S. 83 (1963), the prosecution is required to disclose

evidence favorable to the accused that is material either to guilt or to punishment. The Brady

rule encompasses exculpatory and impeachment evidence and is grounded in the Due Process

Clause of the Fifth and Fourteenth Amendments.

B. Giglio, Jencks Act, and Rule 16 Obligations

Giglio v. United States, 405 U.S. 150 (1972), extends the Brady rule to include evidence

affecting the credibility of key government witnesses. The Jencks Act (18 U.S.C. § 3500) requires

the government to produce statements and reports of witnesses after they have testified. Rule

16 of the Federal Rules of Criminal Procedure mandates that the government permit the

defendant to inspect and copy or photograph documents and objects material to prepare the

defense.

IV. Specific Violations

A. Judges’ Suppression of Brady Materials

The failure of District Judges Edgardo Ramos, Colleen McMahon, Laura Taylor-Swain,

Amalya L. Kearse, Robert D. Sack, Katherine Polk-Failla, Margaret M. Garnett, and Jose A.

Cabranes to enforce Brady disclosures constitutes a profound breach of judicial conduct. Their

willful and bad faith suppression of Brady actual innocent exculpatory and impeachment

materials directly violates the Code of Conduct for Federal Judges, specifically:

1. Canon 1: Upholding the Integrity and Independence of the Judiciary

o Judges Ramos, McMahon, Taylor-Swain, Kearse, Sack, Polk-Failla, Garnett, and

Cabranes have compromised the judiciary's integrity by failing to enforce the

Page 5 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 Brady orders. Their actions suggest a willingness to disregard established legal

principles to the detriment of justice.

2. Canon 2: Avoiding Impropriety and the Appearance of Impropriety

o The suppression of Brady materials creates an undeniable appearance of

impropriety. The judges’ conduct has cast a long shadow over the judiciary's

impartiality, suggesting bias and collusion with the prosecution.

3. Canon 3: Performing the Duties of the Office Fairly, Impartially, and Diligently

o The judges have failed to diligently perform their duties by not ensuring

compliance with Brady orders. Their inaction has deprived Mr. Ware of his right

to a fair trial and has undermined the administration of justice.

B. Civil and Criminal Contempt

The Government’s and the judges’ refusal to disclose the required materials constitutes

civil and criminal contempt under 18 U.S.C. § 401(2) and 401(3). This willful disobedience of court

orders undermines the rule of law and the credibility of the judicial system.

V. Justification for the Brady Demand

The undisclosed, suppressed, and concealed Brady materials are essential for Mr. Ware’s

defense, and post-trial judicial proceedings, 22cv3409 (SDNY) 2241 actual innocent habeas

corpus, and are likely to contain exculpatory and impeachment evidence critical to challenging

the prosecution's case. Specifically, the materials in question include:

1. Jeremy Jones’ Alleged September 2006 Rule 11 Plea and USSG §5K1.1 Perjury Contracts

o These materials are pivotal to demonstrating the Government's use of false

testimony and improper incentives to secure a conviction.

Page 6 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 2. All Grand Jury Transcripts, Jencks Act Statements, and Related Judicial Documents

o These documents are necessary for verifying the credibility of key witnesses and

understanding the full context of the Government’s case against Mr. Ware.

3. Ex Parte Communications, Applications, and Orders

o The disclosure of these communications is crucial for revealing any improper or

undisclosed dealings that may have influenced the proceedings.

4. Sentencing Memoranda and Statements of Reasons

o These records will help determine if the sentencing decisions were influenced by

undisclosed Brady materials or improper considerations.

VI. Specific Requests in Supplement 9.11-2A: See Exhibit A, infra.

This supplement extends the July 31, 2024, (9.11-1) Brady disclosure demand to include the

following additional materials as outlined in 9.11-2A, Exhibit A, infra:

1. Jeremy Jones’ Sept. 22, 2006, Rule 11/USSG 5k1.1 Perjury Contracts:

o Including copies of all pretrial Jencks Act statements of the Government’s trial

witnesses used to offer and provide non-prosecution contracts to the

Government’s trial witnesses.

2. Records regarding Arie Rabinowitz and the 02cv2219 (SDNY) plaintiffs' FINRA

registration documents3.

3
Including 02cv2219 (SDNY) District Judge (SDNY) Colleen McMahon and her alleged spouse, Frank V.
Sica’s, 15 USC 78o(a)(1), Section 15(a)(1), SEC, and NYS, broker-dealer registration records regarding their
decades long business of, and transacting in predatory loan sharking sourcing, underwriting, funding, and
collection in violation of 18 USC 1961(6)(B), via illegal distributions provided by Tailwind Capital
Management LLP earned and/or derived from Tailwinds’ alleged “private equity Ponzi scam,” criminal

Page 7 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 3. Documents related to Kilpatrick, Townsend, & Stockton, LLP's involvement in In re

Group Management Corp., 03-93031 (BC NDGA) Chapter 11:

o Including case files, subscription agreements, communications with the U.S.

Trustee’s Office, and all related court documents.

4. SEC internal documents and records relevant to the SEC’s July 14, 2003 decision in 03-

0831 (D. NV):

o Including emails, communications with trial witnesses, and internal reports.

5. All government expert reports, transcripts, and exhibits regarding the alleged “artificial

inflation of stock prices caused by press releases.”

6. Pre-trial Jencks Act statements and Rule 16 materials of alleged FBI analyst Maria A.

Font:

o Including records establishing her status as an FBI analyst in January and April

2007.

7. Transcripts, letters, statements, or communications where Jeremy Jones and

Government trial witnesses testified to communicated to the SEC or USAO about their

lack thereof of “any” conspiracy involving Mr. Ware.

8. SEC records constituting impeachment or Brady exculpatory materials regarding former

SEC lawyers Jona E. McKown, Spencer C. Barasch, and Jeffrey B. Norris:

o Including internal records, filed records, or communications from 2000 to their

official termination by the SEC for professional misconduct or other infractions.

usury convertible promissory notes and other unregistered securities valued at more than +$100 million.
See 02cv2219 (SDNY) Dkt. 139, 139-1, and 139-2.

Page 8 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 9. Judicial records in actual or constructive possession of District Judge Edgardo Ramos, as

of July 12, 2021, Dkt. 288, related to ex parte proceedings the district court and:

involving the Government, Marlon G. Kirton, the USPO, the SEC, the FBI, or any other

party regarding 04cr1224 and 05cr1115.

10. A copy of filings or transcripts where: (1) District Judge (SDNY) Edgardo Ramos

(04cr1224 and 05cr1115), (2) McMahon (02cv2219), and Hagenau, C.J. in 03-93031 (BC

NDGA) filed or made on the record Fed. R. Crim. P. 25(a), or Fed. R. Civ. P. Rule 63(a)4

certification of familiarity with the trial records in 04cr1224, 05cr1115, and 03-930315

before making any evidentiary or other rulings in the respective proceedings.

VII. Conclusion

The timely failure to disclose these critical materials represented (i) a willful and bad faith

resistance to, and violation of the (I) May 19, 2006, Dkt. 17, 05cr1115 Brady court order (Pauley,

J.) (deceased) and (II) the August 10, 2007, Dkt. 32, 04cr1224 (Sweet, J.) (deceased), a gross

violation of Mr. Ware’s constitutional rights and a profound dereliction of judicial duty. The

4
Rule 63. Judge's Inability to Proceed.
If a judge [Sand, J., deceased] conducting a hearing or trial [regarding 02cv2219 (SDNY)] is unable to
proceed [deceased], any other judge [McMahon, J.] may proceed [in 02cv2219] upon certifying
familiarity with the record and determining that the case may be completed without prejudice to the
parties[McMahon, J. was disqualified in 02cv2219 (SDNY) pursuant to 28 USC 455(a), and 455(b)(1-4) as
the personal owner of +$22 million of criminal usury convertible promissory notes, the same subject
matter involved in the 02cv2219 proceedings—that is, McMahon was and is legally, factually, and
objectively actually bias, actually prejudice, and had and currently has actual conflict of interest—
collectively multiple violations of the Code of Conduct for Federal Judges, cf., In re Colleen McMahon,
02-24-90036jm (2d Cir.), (pending) complaint of criminal judicial misconduct]. In a hearing or a nonjury
trial, the successor judge must, at a party's request, recall any witness whose testimony is material and
disputed and who is available to testify again without undue burden. The successor judge may also recall
any other witness.

5
Bankruptcy proceedings adopt the Federal Rules of Civil Procedure.

Page 9 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
judiciary's integrity and the fundamental principles of justice demand immediate compliance

with Brady obligations.

Relief Requested

Defendant-Appellant Ware respectfully requests that this Honorable Court order the

Government, the aforementioned district judges, and the individuals named in 9.11-1 to:

1. Immediately, and no later than 10:00 A.M. on August 5, 2024, disclose, produce, and

certify under oath that all Brady, Giglio, Jencks Act, and Rule 16 materials have been

disclosed and produced to Mr. Ware in compliance with:

o The May 19, 2006 order (Dkt. 17) in United States v. Ware, 05cr1115 (SDNY).

o The August 10, 2007 order (Dkt. 32) in United States v. Ware, 04cr1224 (SDNY).

2. Certify the chain of custody of all Brady materials to ensure their integrity and

completeness.

3. Investigate and address any and all reasons for the previous non-compliance with the

Brady orders to prevent future occurrences.

Respectfully submitted,

Ulysses T. Ware

Defendant-Appellant

/s/ Ulysses T. Ware

August 2, 2024

Page 10 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 Exhibit A

Page 11 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 Supplement #1.0 to July 31, 2024, Brady Demand, 9.11-1, attachment for the Government

and the individuals and entities named in 9.11-1 to immediately disclose the following actual

innocent Brady exculpatory, impeachment, Jencks Act, and/or Rule 16 materials, to wit:

1. Jeremy Jones’ Sept. 22, 2006, Rule 11/USSG 5k1.1 Perjury Contracts;6

2. All records and documents regarding Arie Rabinowitz's, LH Financial Services, and the

02cv2219 (SDNY) plaintiffs' FINRA, SEC, and NYS 15 USC 78o(a)(1) broker-dealer registration

documents;

3. Kilpatrick, Townsend, & Stockton, LLP's case files documents regarding the In re Group

Management Corp., 03-93031 (BC NDGA) Chapter 11:

a. all documents, records, and/or communications that establish a lawful claim or debt for

each 02cv2219 (SDNY) plaintiff to establish Article III standing to appear in 03-93031 and

be granted any judicial relief,

6
Including copies of and all pretrial Jencks Act statements of the Government’s trial witnesses the
Government used to offer and provide nonprosecution contracts to the Government’s trial witnesses.

Page 12 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 b. all records—brokerage accounts, banking records, legal opinions, etc., of any sale and

purchase, or purchase and sale of any 02cv2219 plaintiffs or their agents regarding

GPMT’s equity securities,

c. a copy of the alleged debt contract that established a law claim for each 02cv2219

plaintiff to appear in 03-93031,

d. a copy of the alleged "subscription agreement" (GX 5) for the issuance of the alleged GX

1, GX 2, GX3, and GX 4, criminal usury convertible promissory notes,

e. a copy of all pleadings filed by KTS in the 03-93031 Chapter 11, and all transcripts of any

hearing or proceeding held in the Chapter 11;

f. a copy of Dennis S. Meir’s response to Ulysses T. Ware’s State Bar of Georgia complaint;

g. a copy of all ex parte filings or contacts made by KTS in the Chapter 11 or made post the

Chapter 11;

h. all communications between KTS and the U.S. Trustee's Office (NDGA) before, during, and

after the Chapter 11;

i. a copy of all documents KTS provided to the Government or an agent for the Government

regarding the Chapter 11;

j. a copy of all retainer or employment contracts between KTS, Zitter, or the 2219 plaintiffs

regarding the Chapter 11;

Page 13 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
4. All SEC internal documents, records, notes, and reports that informed the SEC’s July 14,

2003, decision, Article II affirmative defense, judicial admission, pleaded in paragraph 33 of the

03-0831 (D. NV) complaint;

a. the identity of the SEC lawyer admitted in the District Court (D. NV) on July 14, 2003, who

actually, pursuant to Rule 11(c), signed the 03-0831 D. NV complaint;

b. all SEC files and records which the SEC provided to the Government regarding paragraph

33;

c. all records of the SEC’s and of Jeffrey B. Norris’ emails, faxes, or other communications

made to Jeremy Jones or any Government trial witness in 05cr1115 that confirmed the

SEC’s reason(s) for not including Jeremy Jones or Mr. Ware’s employees (the

Government’s trial witnesses) as defendants in the 03-0831 D. NV complaint or

proceedings;

5. All government expert reports, transcripts, and exhibits per Rule 16 expressed the

expert’s opinion of “artificial inflation of stock prices caused by press releases” including all

potential experts that provide the USAO an opinion or expressed any refusal to provide an

opinion or other indication that the INZS and SVSY’s stocks’ prices were not artificially inflated

caused by press releases.

Page 14 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
6. All pre-trial Jencks Act statements and Rule 16 materials of alleged FBI analyst Maria A.

Font; and all records of the FBI that establish Font as “an FBI analyst” in January 2007 and April

2007.

7. All transcripts, letters, statements, or other communications in the actual and/or

constructive possession of the SEC and the Government, (the FBI), where Jeremy Jones and Mr.

Ware’s employees, Government trial witnesses, testified “they were not aware of a conspiracy,

and had they been aware would not have gotten involved in any conspiracy with Mr. Ware.”

(paraphrased).

8. All records of the SEC that constitute impeachment or Brady exculpatory materials

regarding former SEC lawyers Spencer C. Barasch and Jeffrey B. Norris—all SEC internal records,

files, records, or communications regarding Barasch or Norris from 2000 to their official

termination by the SEC regarding professional misconduct or other sanctions imposed on Barasch

or Norris, the Government’s FRE 404(b) witness in U.S. v. Ware, 04cr1224 (SDNY).

9. All judicial records (sealed filings, transcripts, orders, or other judicial records) in the

actual and/or constructive possession, and that were and/or have been in the possession of

District Judges Pauley, (deceased), Sweet, (deceased), or Edgardo Ramos regarding all ex parte

proceedings between the district court and: the Government, between Marlon G. Kirton,

between the USPO, between the SEC, between the FBI, or between any other person or

individuals regarding any issues, facts, or other matters involving 04cr1224 and 05cr1115.

Page 15 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand
 End of document

Page 16 of 16
Friday, August 2, 2024
(9.11-2) re Supplement #1 to (9.11-1) Ulysses T. Ware’s Renewed Brady demand